Responsibilities will involve all aspects of compliance support, including advising and providing guidance to the Equities Derivatives and Structured Products Sales and Trading Platform.
-Draft, implement and revise Written Supervisory Procedures
-Draft and implement policies and procedures.
-Provide clear and understandable advice and guidance to interested parties, and drafting and delivering Compliance training on these topics.
– Partner with Trading and IT to further develop and enhance the governance structure and risk controls of the Equities Trading Platform including but not limited to protocols for system development and testing.
– Analyze proposed and new rules in addition to market and internal developments provide advice and guidance, as may be required. Additionally, play an advocacy role representing the Firm in industry efforts (e.g., SIFMA, FIF, etc.) as they pertain to equities trading and related developments.
– Provide guidance on the Firm’s surveillance program for equities trading systems and trade reporting. Knowledge of SEC rules such as the SEC Market Access Rule, Reg SHO, Reg NMS, CAT and ACT
– Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice.